Oppenheimer Holdings Inc. - Settlement with FINRA
21 Fevereiro 2008 - 1:34PM
PR Newswire (US)
NEW YORK and TORONTO, Feb. 21 /PRNewswire-FirstCall/ -- Oppenheimer
Holdings Inc. (OPY on the NYSE) is aware that the Financial
Industry Regulatory Authority (FINRA) issued a press release today
announcing the Company's settlement of market timing issues. The
Company is pleased to put this matter, which resolves the last
major regulatory issue resulting from a series of acquisitions made
by the firm in 2001-2003, behind it. The Company filed a Form 8-K
on December 27, 2007 reporting this settlement with FINRA. In that
filing, the Company reminded investors that the Company had set
aside sufficient amounts to fully reserve for this matter.
Oppenheimer, through its principal subsidiaries, Oppenheimer &
Co. Inc. (a U.S. broker-dealer) and Oppenheimer Asset Management
Inc., offers a wide range of investment banking, securities,
investment management and wealth management services from 86
offices in 21 states and through local broker-dealers in 3 foreign
jurisdictions. Oppenheimer employs over 3,500 people, approximately
1,250 of whom are financial advisers. Oppenheimer offers trust and
estate services through Oppenheimer Trust Company. Evanston
Financial Corporation is engaged in mortgage brokerage and
servicing. In addition, through its subsidiary, Freedom
Investments, Inc. and the BUYandHOLD division of Freedom,
Oppenheimer offers online discount brokerage and dollar-based
investing services. This press release includes certain
"forward-looking statements" relating to anticipated future
performance. For a discussion of the factors that could cause
future performance to be different than anticipated, reference is
made to the Company's Annual Report on Form 10-K for the year ended
December 31, 2006. DATASOURCE: Oppenheimer Holdings Inc. CONTACT:
A.G. LOWENTHAL, (212) 668-8000; E.K. ROBERTS - (416) 322-1515
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